Articles

Results 1 to 5 of 13
Most popular |Most recent


SEC Adopts Final Rules Regarding Intrastate and Regional Offerings

USA - October 27 2016 On October 26, 2016, the Securities and Exchange Commission (the "SEC") adopted final rules regarding intrastate and regional offerings, which largely...

David M. Lynn, Ze’-ev D. Eiger.

Credit-Linked Notes: Germany and the United States

USA, Germany - September 14 2016 In July 2016, Germany's Federal Financial Supervisory Authority (Bundesanstalt fr Finanzdienstleistungsaufsicht, "BaFin") announced its intention to...

Jared D. Kaplan, Lloyd S. Harmetz, Anna T. Pinedo, Oliver I. Ireland, Bradley Berman.

FINRA Re-Proposes Enhanced Pricing Disclosure on Customer Confirmations in Connection with Fixed Income Transactions

USA - September 14 2016 On August 12, 2016, FINRA proposed to amend FINRA Rule 2232 to require FINRA members to provide additional pricing information on retail customer...

Jared D. Kaplan, Lloyd S. Harmetz, Anna T. Pinedo, Oliver I. Ireland, Bradley Berman.

FINRA TRACE Reporting and Time of Execution

USA - September 14 2016 In August 2016, the Financial Industry Regulatory Authority, Inc. ("FINRA") released Regulatory Notice 16-30. The notice reiterates the requirement...

Jared D. Kaplan, Lloyd S. Harmetz, Anna T. Pinedo, Oliver I. Ireland, Bradley Berman.

SEC Challenges Use of Survivor Options

USA - September 14 2016 In August 2016, the SEC filed cease and desist proceedings against a U.S. private fund and its manager. The action alleges that the manager solicited...

Jared D. Kaplan, Lloyd S. Harmetz, Anna T. Pinedo, Oliver I. Ireland, Bradley Berman.